Jun 27, 2024 | Canadian Investment Regulatory Organization (CIRO), Investment Funds, Regulatory Compliance
Early this month, the Office of the Investor at the Canadian Investment Regulatory Organization (CIRO) released the results of its first investor survey (together with the Innovative Research Group), which was intended to provide insights into trends and financial...
May 30, 2024 | Regulatory Compliance
Registrants in Ontario must complete the 2024 Risk Assessment Questionnaire in the next few weeks and submit it through the Ontario Securities Commission’s (OSC) Electronic Filing Portal. Registrants should have received the questionnaire on May 8th. The OSC has...
Jan 31, 2024 | Investment Funds, Regulatory Compliance
On January 10, 2024, the Ontario Securities Commission, in partnership with Ipsos, released the results of a survey of Canadians 50 years and older that identified and addresses the needs of older investors. The survey detailed eight key findings from the survey,...
Sep 27, 2022 | Investment Funds, Regulatory Compliance
The Ontario Securities Commission’s (OSC’s) Investor Office leads the OSC’s efforts in investor engagement, education, outreach and research. The Investor Office launched a survey that ran between September 27 to October 4, 2021, to assess the financial literacy of...
Sep 30, 2021 | Corporate Finance, Regulatory Compliance
The Canadian Public Accountability Board (CPAB) is seeking comments on potential changes to the type of information it discloses about the results of its assessments of accountants that audit Canadian reporting issuers. Currently, the rules governing CPAB restrict the...
May 31, 2021 | Investment Funds
For clients who are registered as investment fund managers, a friendly reminder that your initial investment funds survey responses are due on May 31. Additionally, your completed fund data spreadsheet will be due on July 30. Please contact us if you have any...
May 29, 2020 | COVID-19, News, Regulatory Compliance
In March, the Ontario Securities Commission (OSC) announced that due to COVID-19, it was postponing the 2020 Risk Assessment Questionnaire (RAQ) cycle until further notice. On May 28, chief compliance officers (CCOs) of registrants were notified that they will receive...
